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    Head of International Marketing Compliance

      Attach a CV (Accepted file types: pdf, doc, docx, rtf.)

      Head of International Marketing Compliance

      London, UK




      A global asset manager is currently looking to appoint a Head of International Marketing Compliance, to join either its London office.

      The firm carries out its asset-gathering mission by marketing and distributing the investment expertise of its affiliated investment managers to investors through a network of business development units (“BDUs”) in Europe, Asia Pacific, Latin America and the Middle East.

      The position will have the following key accountabilities:

      • Act as leader for the Marketing Compliance Programme
      • ‘Marketing’ includes all types of marketing such as content marketing and digital marketing
      • Key components of the role include:
        • Play leading role in managing the relationship with and providing compliance advice to all marketing and similar functions within the firm
        • Lead on the formulation of compliance policy for the international platform as it relates to marketing activities, finding creative solutions while remaining within the Firm’s risk appetite.
        • Develop, maintain and administer all relevant international compliance policies and procedures that pertain to marketing activities
        • Oversee and/or manage the international marketing review process, liaising with local compliance officers who are part of the process
        • Liaise with affiliate compliance teams in relation to marketing topics such as digital marketing in order to facilitate the identification of best practice or improved processes
        • Own and improve to the extent possible the CRM modules used to handle marketing reviews
        • Devise and/or provide training on the marketing review process to compliance colleagues as well as all relevant marketing team
        • Monitor new regulations, in collaboration with local compliance colleagues, as they affect the marketing review process and the content of marketing material and marketing activities in general
        • Monitor technological developments that could facilitate the marketing review process and propose potential new tools
        • In collaboration with internal control function, devise regular sample testing on marketing reviews performed by compliance teams
        • Provide regular reporting to boards / audit committees as directed

      The position will be based in London with a moderate amount of travelling primarily in Europe.


      Skills, Knowledge & Experience

      The successful applicant should have some of the following qualifications:

      • University degree;
      • A minimum of 10 to 15 years working in a compliance role preferably in asset management distribution
      • Strong influencing and interpersonal skills.
      • Knowledge of English is required since most interactions will be conducted in English, knowledge of French would be an advantage.
      • Experience of operating in an international group and in a matrix management structure
      • Exposure to a wide range of clients and good understanding of the key asset classes, investment strategies and delivery vehicles (pooled funds and separate accounts);
      • Working knowledge of some or all of the following subjects is desirable: FCA Financial Promotions rules, EU MiFID regulations, regulations covering marketing communications (e.g. ESMA Marketing Guidelines), regulations covering asset management in general Awareness of similar rules in other regions would be an advantage.

      Posted by

      Mark Foy

      Managing Director

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